Broker records

Refusal to provide documents and information; Form U5 disclosed discharge for accepting beneficiary and POA designations and acting as POA without firm approval

Failed to supervise suitability of non-traditional ETPs; deactivated automated surveillance alert; customers held NT-ETPs beyond prospectus periods

Failed to supervise suitability of non-traditional ETPs; deactivated automated surveillance alert; customers held NT-ETPs beyond prospectus periods

Failure to provide information or keep information current (Rule 9552(d))

Failed to record accurate order receipt and transmission times on 30% of options order memoranda; failed to supervise accuracy of order times

Refusal to provide documents and information related to investigation into whether he converted senior customer's funds for personal use

Intentional structuring of cash deposits to avoid federal Currency Transaction Report reporting requirements

Conversion of over $331,000 from elderly customer for personal use; opened checking account on customer's behalf and diverted funds through checks to himself and personal credit card payments

False certification of continuing education completion for insurance license renewal

Unauthorized trading; excessive trading; quantitative unsuitability; de facto control over customer account

Failure to provide information or keep information current (Rule 9552(d))

Failure to provide information or keep information current (Rule 9552(d))